On June 5, 2019, the SEC adopted Regulation Best Interest (Reg BI) and the new Form CRS, with rulemaking intended to enhance and clarify the standards of conduct applicable to broker-dealers and investment advisers when they make investment recommendations, with an effective date of June 30, 2020.
Please join us for a webinar on Thursday, November 14, that will discuss practical, regulatory and other considerations as broker-dealers resolve open questions, develop multi-layered disclosures, and adopt compliance policies and procedures to comply with Reg BI and Form CRS, including:
- Compliance with requirements for new Form CRS
- Explanation of the four obligations of Reg BI: disclosure, care, conflict of interest and compliance
W. Hardy Callcott, Partner
Corin R. Swift, Partner
Sidley Austin LLP is an Approved Accredited Provider of CA, IL and NY CLE credit. CLE credit is pending for this program.
For additional information regarding this event, please contact firstname.lastname@example.org.